Displaying 160 results
Custodians help advisers navigate DOL fiduciary rule
Custodians have morphed into consultants for registered investment advisory firms, navigating them through an increasingly complex regulatory…
Inside the death of the regional broker-dealer
Many have either been acquired or are trying to become national firms.
DOL fiduciary rule could spark acquisitions of RIAs as well as broker-dealers
Already expected to spur consolidation among broker-dealers, the DOL fiduciary rule could also hasten RIA mergers.
Indicted broker a poster boy for industry critics like Sen. Elizabeth Warren
Anthony Diaz, under federal indictment for fraudulent sales of alternatives, embodies the criticisms of the likes of Sen. Elizabeth Warren.
With anti-DOL fiduciary rule lawsuits, industry organizations’ actions speak louder than words
How can those suing to quash the DOL rule, like SIFMA CEO Ken Bentsen Jr., claim to also support its premise?
What’s driving the decade of outflows from actively managed mutual funds
Much of the movement away has been led by advisers looking for cheaper and easier ways to build client portfolios.
DOL fiduciary rule compliance a worry for fee-only financial planners
Additional hoops to jump through to show regulators they are fiduciaries have fee-only advisers worried.
Cease-fire by DOL fiduciary rule opponents may not last long
The financial industry generally has not barked about the final fiduciary rule, but that doesn't mean that it won't eventually bite.
Increased SEC scrutiny may be making ETF providers uncomfortable
Increased SEC scrutiny may be making ETF providers uncomfortable, and the industry may soon have to adapt to new regulations. (More: The full Spotlight on ETFs special report)
DOL rule silver lining? It may trigger a shift of $1 trillion to ETFs
Five specific aspects of the DOL's new rule that could send assets flooding into ETFs.
Despite old age, bull market gets no respect
Even with its gains and long life, most investors have been lukewarm toward the stock market.
The keys to successful succession planning
Client retention and creating a service-based strategy for a seamless transition are paramount.
Socially responsible investing is coming of age
Investing strategies focused on environmental, social and corporate governance causes continue to gain momentum, even if they're not mainstream just yet. (Related: The top-performing socially conscious funds)
Boost in SEC examiners to enable closer scrutiny of RIAs
Senior columnist Bruce Kelly says the agency going after conflicts of interest means closer scrutiny of RIAs and their businesses.
Dislocations give alt funds a chance to shine
Dislocation among sectors, industries and securities, creates the perfect environment for alternative strategies.
Investing in India is gaining appeal with advisers
The world's seventh-largest economy is gaining appeal with advisers, and investors are salivating over the country's rich demographics.
Young advisers need help developing ‘soft skills’ for serving clients
Young advisers need help developing 'soft skills' for serving clients, like the proper language and tone to use, how to be a good listener and how to prioritize workloads. (Plus: More insight on The Next Generation of Advisers)
Advisers optimistic about 2016 business
In spite of the political climate, pending regs and global unrest, advisers see a bright year ahead.
Where to begin when planning for clients’ 2015 taxes
Start with investments, but don't forget the overall impact on portfolios and financial plans. (Plus: The Spotlight on Tax and Estate Planning special report)
Beyond Fed’s (all but certain) rate hike
Markets are expected to experience some immediate, but short-term, volatility if the Federal Reserve decides to raise interest rates in December.
